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Hi everyone, I am new in the industry (started in 2011) and my first office audit by the main office is coming next week.

To be honest, I have not done a good job in following the record keeping procedure and rules (new born baby, family issues, etc... I know these are not excuses though). I have not done the check registry that I am supposed to record the date that I received the check from my clients. I have not prepared the trade blotter. I have not printed the client correspondence emails to put a copy in their file. I have not forwarded any of the client correspondence emails to the main office. I have not always forwarded the client's check to the main office by overnight delivery service that I am supposed to use.

Is there anything that I can do now to remedy the situation? I am planning to go over the emails and try to locate the client correspodence ones as many as possible, and print a copy to put it in the client's file. Other than that, I cannot think of anything else that I can do now.

What are the possible consequences of my sloppiness in following the record keeping rules? If there will be penalty, does anyone know what it can be? I am really nervous and worried about the situation now. I know I have made a mistake and I am determined to put in my best efforts to do everything that I am required to in the future. But i cannot do anything about the past now. Any advice will be greatly appreciated. Thank you very much and have a great Thanksgiving.

If I were you I’d beg for mercy…you’re probably looking at a large monetary fine. So you’ve been there 2 years and you thought the compliance manual was what…just a guidline??? Just go and quit now and get a job at Walmart.